Sec Form 4 Filing - Carter James P @ BANK MUTUAL CORP - 2018-02-01

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Carter James P
2. Issuer Name and Ticker or Trading Symbol
BANK MUTUAL CORP [ BKMU]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Vice President and Secretary
(Last) (First) (Middle)
4949 WEST BROWN DEER RD
3. Date of Earliest Transaction (MM/DD/YY)
02/01/2018
(Street)
MILWAUKEE, WI53223
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/01/2018 D 4,311 D 0 D
Common Stock 02/01/2018 D 28,918 D 0 I Held jointly with spouse
Common Stock 02/01/2018 D 19,219 ( 2 ) D 0 I Held in 401(k) plan ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Carter James P
4949 WEST BROWN DEER RD
MILWAUKEE, WI53223
Vice President and Secretary
Signatures
/s/James P. Carter 02/01/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On February 1, 2018, Bank Mutual Corporation ("BKMU") completed the previously announced merger (the "Merger") of BKMU with and into Associated Banc-Corp ("Associated"), pursuant to the Agreement and Plan of Merger, dated as of July 20, 2017, by and between BKMU and Associated (the "Merger Agreement"). In accordance with the terms of the Merger Agreement, at the effective time of the Merger each share of BKMU common stock issued and outstanding immediately prior to the effective time of the Merger (including any restricted shares) was converted into 0.422 shares of Associated common stock with cash paid in lieu of any fractional shares. On January 31, 2018, the closing price of Associated common stock on the New York Stock Exchange was $24.75 per share.
( 2 )Reflects acquisitions in the 401(k) Plan that are exempt from reporting.
( 3 )Held in the Bank Mutual Corporation 401(k) Plan.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.